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NISM NISM-Series-VII Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Topic 1: Trading Operations | 15% | - Order management and trade execution - Client onboarding and KYC norms - Front office functions and processes |
| Topic 2: Investor Protection | 7% | - Investor education and awareness initiatives - Investor rights and grievances redressal - Mechanisms for dispute resolution |
| Topic 3: Clearing and Settlement | 15% | - Settlement cycle and mechanisms - Clearing process and roles of clearing corporations - Delivery versus payment and settlement guarantee |
| Topic 4: Technology in Securities Markets | 8% | - Emerging technologies and their impact - Data security and business continuity - Systems for trading, clearing and settlement |
| Topic 5: Market Microstructure | 12% | - Trading mechanisms and order types - Price discovery and market efficiency - Market indices and their calculation |
| Topic 6: Securities Market Overview | 10% | - Market participants and their roles - Structure and segments of Indian securities market - Types of securities and products |
| Topic 7: Risk Management and Margining | 18% | - Types of risks in securities operations - Risk monitoring and control measures - Margining systems and methodologies |
| Topic 8: Regulatory Framework | 15% | - Compliance requirements for intermediaries - Code of conduct and ethical practices - SEBI Act, Rules and Regulations |
NISM Series VII - Securities Operations and Risk Management Certification Sample Questions:
Under the 'Block Mechanism' in demat accounts for sale transactions, what is the specific operational protocol regarding the movement and unblocking of shares if the sale transaction is **not** executed on the trade day (T day)?
- A. Shares remain blocked until the client explicitly submits a cancellation instruction via the depository participant.
- B. Shares are debited from the client's account and held in a suspense account by the Depository until the next trading session.
- C. Shares are transferred to the Clearing Corporation's settlement pool and returned only after the auction session on T+1 .
- D. Shares continue to remain in the client's demat account and will be unblocked at the end of the T day.
- E. Shares are automatically transferred to the Trading Member's pool account and returned to the client on T+1 day.
Correct Answer: D 🗳️
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Which of the following statements accurately describe the regulatory and operational framework regarding Clearing Banks and Clearing Members? (Select all that apply)
- A. Every clearing member must maintain a separate and distinct primary clearing account for each segment.
- B. Additional clearing accounts may be maintained for the specific purpose of enhancing collateral in the form of cash.
- C. Clearing Members are permitted to withdraw funds from their clearing accounts in favor of third-party beneficiaries.
- D. Clearing Members must irrevocably authorize the Clearing Bank to allow the Clearing Corporation to access their accounts for debiting and crediting.
- E. Clearing Banks are responsible for determining the final net settlement obligations of the Clearing Members.
Correct Answer: A,B,D 🗳️
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A securities broking firm configures its Compliance Management System (CMS) to manage data retention policies in accordance with the Prevention of Money-Laundering Act (PMLA), 2002.
Review the JSON configuration snippet below regarding record retention timelines:
Based on the SEBI directives and PMLA provisions, which setting in the configuration is legally NON-COMPLIANT?
- A. client_identity_documents: 3_years_from_account_closure
- B. All settings are compliant
- C. transaction_records: 5_years_from_transaction_date
- D. suspicious_transaction_reports: 5_years_from_reporting_date
- E. Both transaction_records and suspicious_transaction_reports
Correct Answer: A 🗳️
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To manage firm-level exposure, a broking firm must employ specific procedures. Which of the following activities is primarily associated with the 'Assessment of the Effectiveness of the Strategies, Policies and Procedures' in the risk management function?
- A. Reviewing material changes to methodologies, models, and assumptions of risk management by the governing body.
- B. Reporting compliance exceptions to the sales team for immediate rectification.
- C. Ensuring the front office staff executes orders without intervention from the risk department.
- D. Setting trading limits for individual clients based on their income tax returns only.
- E. Outlining investment guidelines solely for the purpose of maximizing proprietary trading profits.
Correct Answer: A 🗳️
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Regarding the facility provided by Clearing Corporations to Clearing Members for the pay-in of securities through NSDL/CDSL, which automated mechanism is available to streamline the process?
- A. Auto-pledge of client securities directly to the Clearing Corporation without broker intervention.
- B. Auto-borrowing of securities from the Securities Lending and Borrowing (SLB) platform to meet shortfalls.
- C. Automatic debit of the client's bank account for the value of securities short delivered.
- D. Delivery-out instructions generated automatically by the Clearing Corporation based on the net delivery obligations of its Clearing Members.
- E. Automatic conversion of physical shares to demat shares on the pay-in date.
Correct Answer: D 🗳️
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